Compliance Analyst – Entry Level
Guggenheim Partners, LLC. - New York, NY

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Position Background:
Guggenheim’s investment management business has experienced tremendous growth internally and through acquisitions and is expecting continued growth. Clients of the firm include insurance companies, other institutions, pension plans and pooled investment vehicles.

Roles and Responsibilities:
The entry-level Compliance Analyst will assist with a variety of functions to support a team responsible for performing annual reviews and testing of compliance policies and procedures, guidelines and trade surveillance and client reporting.

• Undergraduate degree.
• Must have a strict attention to detail while able to prioritize issues appropriately.
• Must be organized, detail oriented and extremely thorough while having the confidence and communication skills to ensure work processes are completed accurately and appropriately.
• Must be a team-player.
• Strong problem solving skills and demonstrated ability to take initiative.
• Must be willing to roll up their sleeves to perform any and all responsibilities needed to ensure success, including data entry, typing and filing.
• Proficient in systems or ability to learn quickly, particularly Excel, CRD and BRS.
• Must successfully pass a background and credit check.
• Located in New York office.

Compensation: Base salary plus discretionary bonus.

Guggenheim Investments:
Guggenheim Investments represents the investment management division of Guggenheim Partners, LLC, which consist of investment managers with approximately $127 billion in combined total assets. Collectively, we have had a long, distinguished history of serving institutional investors, ultra-high-net-worth individuals, family offices and financial advisors. We offer clients a wide range of differentiated capabilities built on a commitment to investment excellence.
Our business is firmly rooted in the discipline of the institutional money management: our DNA is etched with the rigor of managing risk. Each of our investment teams brings a unique expertise and point of view about what drives asset and market behavior, and what drives risk and reward.
Over the years, our clients have valued us for our tradition of independence, thought leadership, purposeful innovation and nimbleness we believe not readily found in other asset managers. We are answerable only to our clients and our commitment to their success.


Guggenheim Partners is a privately held global financial services firm with more than $180 billion in assets under management as of March 31, 2013 and includes consulting services for clients whose assets are valued at approximately $37 billion. We provide asset management, investment banking and capital markets services, insurance, institutional finance and investment advisory solutions to institutions, governments and agencies, corporations, investment advisors, family offices and individuals. We are headquartered in New York and Chicago and serve our clients from more than 26 offices in eight countries. For more information about Guggenheim Partners, visit Equal Opportunity Employer.

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Guggenheim Partners is a global investment and advisory firm with more than $210 billion in assets under management as of June 30, 2014....